SEC.gov | Rulemaking Activity

This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission.

Twice a year under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in the next 12 months. View the latest SEC RegFlex agenda.

Last Reviewed or Updated: Sept. 13, 2024

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Rulemaking Activity

Issue Date	File Number	Rulemaking	Status
Dec. 14, 2009	S7-10-09	Facilitating Shareholder Director Nominations Corporation Finance	Proposed Rule Facilitating Shareholder Director Nominations 33-9086, 34-61161, IC-29069 View Related Activity
Nov. 23, 2009	S7-28-09	Proposed Rules for Nationally Recognized Statistical Rating Organizations Trading and Markets	Proposed Rule Proposed Rules for Nationally Recognized Statistical Rating Organizations 34-61051
Nov. 23, 2009	S7-04-09	Amendments to Rules for Nationally Recognized Statistical Rating Organizations Trading and Markets	Final Rule Amendments to Rules for Nationally Recognized Statistical Rating Organizations 34-61050 View Related Activity
Nov. 16, 2009	S7-09-07	Final Model Privacy Form Under the Gramm-Leach-Bliley Act	Final Rule Final Model Privacy Form Under the Gramm-Leach-Bliley Act 34-61003, IA-2950, IC-28997, 34-59769 View Related Activity
Nov. 13, 2009	S7-27-09	Regulation of Non-Public Trading Interest Trading and Markets	Proposed Rule Regulation of Non-Public Trading Interest 34-60997
Nov. 5, 2009	S7-29-04	Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date	Final Rule Regulation S-AM: Limitations on Affiliate Marketing; Extension of Compliance Date 34-60946, IA-2946, IC-28990 View Related Activity
Oct. 26, 2009		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9077, 34-60875, 39-2468, IC-28984
Oct. 22, 2009	S7-25-09	Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933 Corporation Finance	Concept Release Concept Release on Possible Rescission of Rule 436(g) Under the Securities Act of 1933 33-9071A View Related Activity
Oct. 22, 2009	S7-24-09	Credit Ratings Disclosure Investment Management, Corporation Finance	Proposed Rule Credit Ratings Disclosure 33-9070A, 34-60797A, IC-28942A View Related Activity
Oct. 19, 2009	S7-23-09	Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities Corporation Finance	Proposed Rule Extension of Filing Accommodation for Static Pool Information in Filings With Respect to Asset-Backed Securities 33-9074 View Related Activity
Oct. 14, 2009	S7-22-09	Amendments to Rules Requiring Internet Availability of Proxy Materials Corporation Finance	Proposed Rule Amendments to Rules Requiring Internet Availability of Proxy Materials 33-9073, 34-60825, IC-28946 View Related Activity
Oct. 13, 2009	S7-06-03	Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers Corporation Finance	Final Rule Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers 33-9072, 34-60813 View Related Activity
Oct. 7, 2009	S7-25-09	Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933 Corporation Finance	Concept Release Concept Release on Possible Rescission of Rule 436(g) Under The Securities Act of 1933 33-9071 View Related Activity
Oct. 7, 2009	S7-24-09	Credit Ratings Disclosure Investment Management, Corporation Finance	Proposed Rule Credit Ratings Disclosure 33-9070, 34-60797, IC-28942 View Related Activity
Oct. 5, 2009	S7-19-08	Security Ratings Corporation Finance, Investment Management, Trading and Markets	Proposed Rule References to Ratings of Nationally Recognized Statistical Rating Organizations 33-9069 View Related Activity
Oct. 5, 2009	S7-19-08	References to Ratings of Nationally Recognized Statistical Rating Organizations Trading and Markets	Final Rule References to Ratings of Nationally Recognized Statistical Rating Organizations 34-60789 View Related Activity
Sept. 18, 2009	S7-20-09	Disclosure of Certain Money Market Fund Portfolio Holdings Investment Management	Interim Final Rule Disclosure of Certain Money Market Fund Portfolio Holdings IC-28903 View Related Activity
Sept. 18, 2009	S7-21-09	Elimination of Flash Order Exception From Rule 602 of Regulation NMS Trading and Markets	Proposed Rule Elimination of Flash Order Exception From Rule 602 of Regulation NMS 34-60684 View Related Activity
Sept. 18, 2009	S7-20-09	Disclosure of Certain Money Market Fund Portfolio Holdings Investment Management	Final Rule Disclosure of Certain Money Market Fund Portfolio Holdings IC-28903 View Related Activity
Sept. 14, 2009	S7-02-09	Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps Corporation Finance	Final Rule Extension of Temporary Exemptions for Eligible Credit Default Swaps To Facilitate Operation of Central Counterparties To Clear and Settle Credit Default Swaps 33-9063, 34-60663, 39-2467 View Related Activity
Aug. 18, 2009		Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification	Interpretive Release Commission Guidance Regarding the Financial Accounting Standards Board's Accounting Standards Codification 33-9062A, 34-60519A, FR-80A
Aug. 17, 2009	S7-08-09	Amendments to Regulation SHO Trading and Markets	Proposed Rule Amendments to Regulation SHO 34-60509 View Related Activity
Aug. 5, 2009		Delegation of Authority to Director of Division of Enforcement	Final Rule Delegation of Authority to Director of Division of Enforcement 34-60448
Aug. 4, 2009	S7-29-04	Regulation S-AM: Limitations on Affiliate Marketing	Final Rule Regulation S-AM: Limitations on Affiliate Marketing 34-60423, IC-28842, IA-2911 View Related Activity
Aug. 3, 2009	S7-18-09	Political Contributions by Certain Investment Advisers Investment Management	Proposed Rule Political Contributions by Certain Investment Advisers IA-2910 View Related Activity
July 28, 2009		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9058, 34-60390, 39-2466, IC-28838 Dates:
July 27, 2009	S7-30-08	Amendments to Regulation SHO Trading and Markets	Final Rule Amendments to Regulation SHO 34-60388 View Related Activity
July 17, 2009	S7-15-09	Amendment to Municipal Securities Disclosure Trading and Markets	Proposed Rule Proposed Amendment to Municipal Securities Disclosure 34-60332 View Related Activity
July 10, 2009	S7-13-09	Proxy Disclosure Enhancements Corporation Finance	Proposed Rule Proxy Disclosure and Solicitation Enhancements 33-9052 View Related Activity
July 1, 2009	S7-12-09	Shareholder Approval of Executive Compensation of TARP Recipients Corporation Finance	Proposed Rule Shareholder Approval of Executive Compensation of TARP Recipients 34-60218 View Related Activity
June 30, 2009	S7-11-09	Money Market Fund Reform Investment Management	Proposed Rule Money Market Fund Reform IC-28807 View Related Activity
June 22, 2009	S7-06-03	Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers Corporation Finance	Final Rule Technical Amendment; Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers 33-8934A, 34-58028A, 33-8889 View Related Activity
June 10, 2009	S7-10-09	Facilitating Shareholder Director Nominations Corporation Finance	Proposed Rule Facilitating Shareholder Director Nominations 33-9046, 34-60089, IC-28765 View Related Activity
May 28, 2009	S7-28-07	Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies	Final Rule Enhanced Disclosure and New Prospectus Delivery Option for Registered Open-End Management Investment Companies 33-8998A, IC-28584A View Related Activity
May 20, 2009	S7-09-09	Custody of Funds or Securities of Clients by Investment Advisers Investment Management	Proposed Rule Custody of Funds or Securities of Clients by Investment Advisers IA-2876 View Related Activity
May 1, 2009	S7-12-08	Interactive Data for Mutual Fund Risk/Return Summary Investment Management	Final Rule Interactive Data for Mutual Fund Risk/Return Summary; Correction 33-9006A, 34-59391A, 39-2462A, IC-28617A View Related Activity
April 28, 2009		Delegation of Authority to the General Counsel	Final Rule Delegation of Authority to the General Counsel 34-59829
April 16, 2009		Adoption of Updated EDGAR Filer Manual EDGAR Business Office	Final Rule Adoption of Updated EDGAR Filer Manual 33-9027, 34-59776, 39-2465, IC-28698
April 15, 2009	S7-09-07	Final Model Privacy Form Under the Gramm-Leach-Bliley Act	Proposed Rule Interagency Proposal for Model Privacy Form Under the Gramm-Leach-Bliley Act 34-59769, IA-2866, IC-28697 View Related Activity
April 15, 2009		Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies	Final Rule Technical Amendments to Rules, Forms, Schedules, and Codification of Financial Reporting Policies 33-9026, 34-59775, FR-79

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